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Attorney Profiles
- Barry R. Lax
- Brian J. Neville
- Ross B. Intelisano
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Practice Areas
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Securities Arbitration and Investment Fraud Litigation
- Investor Protection and Securities Arbitration (FINRA, NFA, JAMS and AAA)
- Investment Advisor Dispute Arbitration and Litigation
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Our Wins
- Client Represented by Lax & Neville LLP Wins $2.6MM Award Against E1 Asset Management, Inc., Shaun Joseph Grimaldi, and Ron Yehuda Itin
- New York Appellate Court Unanimously Affirms Confirmation of Former Adviser’s $1 Million FINRA Arbitration Award Against Credit Suisse
- Lax & Neville Has Won More Than $13 Million For Former Credit Suisse Advisers Seeking Deferred Compensation In FINRA Arbitrations, Including A Recent Award To Four Advisers For $2.3 Million
- Two More Former Credit Suisse Advisers Represented by Lax & Neville LLP Win FINRA Award, New York Labor Law Claims Against Credit Suisse
- Lax & Neville Achieved a $2.7 Settlement on Behalf of a Managing Director in an Employment Compensation Dispute
- Lax & Neville is Successful in Defending a Hedge Fund’s Motion for Summary Judgment That Sought to Dismiss a Managing Director’s Claims, Including for Liquidated Damages, Prejudgment Interest, and Attorneys’ Fees
- Lax & Neville LLP Appointed Special Securities Counsel for Court Appointed Receiver
- New York Supreme Court, Commercial Division Denies Credit Suisse’s Petition to Vacate $1 Million FINRA Award for Unpaid Deferred Compensation
- Two More Former Credit Suisse Advisers Represented by Lax & Neville LLP Win FINRA Award, New York Labor Law Claims Against Credit Suisse
- Lax, Neville & Intelisano, LLP Wins over $1.2 Million and Expungement of Broker Record in Wrongful Termination Suit
- Another Former Credit Suisse Adviser Represented by Lax, Neville & Intelisano, LLP Wins a FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations
- Former Credit Suisse Adviser Represented By Lax, Neville & Intelisano, LLP Wins First FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations
- Lax, Neville & Intelisano, LLP Reaches $1.035 Million Settlement on Behalf of Investment-Banking Firm Owed Fees from Pay-Day Lender
- Lax, Neville & Intelisano, LLP Reaches $1.4 Million Settlement on Behalf of Clients Who Suffered Sales Practice Abuse
- Lax, Neville & Intelisano, LLP Successfully Collects over $1.2 Million for Customer of John Thomas Financial and Anastasios Belesis
- Lax, Neville & Intelisano, LLP Wins Over $500,000 In A Compensation FINRA Dispute
- Lax, Neville & Intelisano, LLP Wins A Monetary Award And Expungement Relief For HSBC Securities (USA) Inc.’s Filing Of A False Form U-5 In A FINRA Arbitration
- Lax, Neville & Intelisano, LLP Wins A $16.6 Million Award In A FINRA Arbitration On Behalf Of Two Retail Investors, Through Ontonimo (OMO) Limited, Against BNP Paribas Securities Corp
- Lax, Neville & Intelisano, LLP Wins Arbitration Award Against Investment Advisory Firm SICA Wealth Management and Investment Advisor Jeffrey Sica For Breach Of Fiduciary Duty
- Lax, Neville & Intelisano, LLP Wins a FINRA Arbitration Award Granting Expungement Relief to a Former UBS Registered Representative
- Lax, Neville & Intelisano, LLP Wins $900,000 FINRA Arbitration, Including Punitive Damages, Against John Thomas Financial, Anastasios Belesis, George Belesis and Joseph Castellano For Churning And Failure To Supervise
- Clair R. Couturier, Jr. vs. Merrill Lynch, Pierce, Fenner & Smith, Inc., Phil Scott Group, et al FINRA Dispute Resolution No. 11-00867
- Lax, Neville & Intelisano, LLP Win $263,219 FINRA Arbitration Award Brought By Current Morgan Stanley Smith Barney Employees For Payment Of Their Back-End Bonuses
- Kevin Kaiser vs. Raoul’s Restaurant Corp., Cindy Smith et al. – Index No. 112674/2007
- John J. Baker, Natalie N. Baker and John Baker, as Personal Representative of the Estate of Harriet B. Baker vs. Merrill Lynch Pierce, Fenner & Smith, Incorporated - Index No. 11-108492
- Westminster Securities Corp. v. Petrocom Energy Limited, Petrocom Limited and Howard Au – 11-607
- Douglas and Kristin Mirabelli v. Merrill Lynch, Pierce, Fenner & Smith, Inc. - FINRA No. 10-03400
- OBEX Securities, LLC vs. Healthzone Limited – Index No. 10-6876 (SAS)
- Scottrade, Inc. v. Broco Investments, Inc., Valery Maltsev, and Genesis Investments, LLC, 10 Civ. 3537 (RJH)
- Westminster Securities Corp. v. Petrocom Energy Limited, Petrocom Limited and Howard Au - 10 Civ. 7893 (DLC)
- John J. Baker, Natalie N. Baker and Harriet B. Baker v. Merrill Lynch, Pierce, Fenner & Smith, Inc. - FINRA No. 09-06762
- David B. Newman v. Family Management Corporation et al.
- Kevin Kaiser vs. Raoul’s Restaurant Corp., Cindy Smith et al. – Index No. 112674/2007-1
- Ilona Meszaros v. Axial International Limited and Saul Marks, 111897/09
- Mintz & Gold, LLP v. Zimmerman, 102758/07: Decided March 30, 2010
- Santanu Bhattacharya and Gargi Dasgupta vs. Chicago Investment Group LLC and Mitesh Shere
- Madoff Class Action Adv. Pro. No. 09-1265(BRL)
- JLM Chemicals, Inc. v. Summit Resources Group, Inc. 08 Civ. 10296 Decided: April 24, 2009
- Citigroup Global Markets, Inc. v. Joseph C. Delaura
- Frank H. Suits, Jr. et al. vs. Merrill Lynch Pierce Fenner & Smith, Inc. and Michael Keefe Gorman NYSE No. 2006-016588
- United States ex rel. John Glover v. Federation of Protestant Welfare Agencies, No. 05-CV-6522 (S.D.N.Y. Dec. 5, 2008) (oral opinion)
- Westminster Securities Corp. and John O’Shea vs. HQ Sustainable Maritime Industries, Inc. AAA No. 13 199 Y 00334 06
- Mintz & Gold, LLP v. Zimmerman, 102758/07: Decided March 30, 2010
- Claimant v. DEPFA Bank, plc Decided: March 22, 2007
- McMahan Securities, Co. L.P. vs. Michael Shillan
- Paul Fitzgerald v. Fahnestock & Co., Inc. and Oppenheimer & Co., Inc. NYSE No. 2004-015875
- Mitchell Slater v. Merrill Lynch, Pierce, Fenner & Smith. Inc. and Thomas Fickinger NASD # 05-04072
- Albert T. Jenks and Irena L. Jenks v. Securities of America, Inc. et. al. NASD No. 03-05007
- Gary Farber v. SunTrust Banks, Inc., et.al. NYSE No. 2004-015608
- Lucille Banahan v. Wachovia Securities, Inc. NASD No: 04-01979
- Kenneth Irving v. Salomon Smith Barney, Michael Lent and William Lent NYSE No. 2002-011137
- Simerman v. Salomon Smith Barney, Prudential Securities and Patricia E. Selin NASD No. 02-07640
- George C. Grivas v. Kerry J. Dukes, et.al. NASD No. 00-02709
- Stanley & Laja Shtupak v. JWGenesis Securities, Inc., et al. NYSE No. 2001-008968
- Sven Grasshoff vs. Aaron Etra - Index No. 650832/2012
- Former Credit Suisse Advisers Win $9.5 Million and $9 Million Awards For Unpaid Deferred Compensation in FINRA Arbitrations
- California and Illinois Courts Confirm $10 Million Award and $9.5 Million Award Against Credit Suisse for Unpaid Deferred Compensation
- Another Former Credit Suisse Adviser Represented by Lax, Neville & Intelisano, LLP Wins a FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations-1
- Four More Former Credit Suisse Advisers Represented by Lax, Neville & Intelisano, LLP Win FINRA Arbitration Award Against Credit Suisse Securities (USA) LLC in the Deferred Compensation Arbitrations
- Client Represented by Lax, Neville & Intelisano, LLP Wins $1.8MM Award Against Morgan Stanley for Unsuitability and Failure to Supervise Investment in WisdomTree (WETF)
- Lax & Neville has Won More Than $35 Million for Former Credit Suisse Advisers Seeking Deferred Compensation in FINRA Arbitrations
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